I am a legal director in Fox Williams' regulatory and white collar crime team. I was formerly a senior lawyer in the Enforcement and Market Oversight division of the Financial Conduct Authority.”
Sebastian joined the firm in January 2019, having worked at the FCA for 5 years immediately before this. At the FCA, Sebastian worked as a prosecutor on many high-profile investigations and prosecutions including multiple cases taken to trial at Southwark Crown Court. This included one of the FCA’s most high-profile insider dealing prosecutions, involving a compliance officer at a major Swiss investment bank.
Since joining the firm, Sebastian has built on his deep experience gained at the regulator and regularly advises corporate and individual clients on contentious regulatory and white collar crime matters. Clients include banks, financial services firms, and individuals working at those firms. Sebastian advises and gives training to firms and individuals on the FCA’s Senior Managers and Certification Regime.
Sebastian is a barrister by background. He was called to the Bar in 2007 and was in chambers at 9-12 Bell Yard.
Acted for a significant number of senior lawyers and bankers (up to C-suite and non-executive director level) at a major retail bank, in relation to the Dame Linda Dobbs Review. See here – http://www.dobbsreview.com/
Acted for a money laundering reporting officer under investigation by the FCA for alleged regulatory and criminal breaches of the Money Laundering Regulations 2007.
Advised a leading UK specialist pension adviser firm in relation to a FCA enforcement investigation and ongoing supervisory issues including a redress scheme relating to defined benefit pension transfer advice.
Advised an Italian bank in relation to regulatory issues regarding to market abuse and whistle blowing.
Advised a Puerto Rican bank and related UK company in relation to a HMRC criminal investigation.
Advised a UK private bank in relation to potential misconduct by a senior banker and related regulatory issues.
Advised a financial services firm in relation to their personal account dealing policies.
Advised a financial services firm in relation to their insider dealing and market abuse policies.
Advised an Egyptian bank (UK branch) in relation to financial crime and sanctions issues.
Assisted the head of compliance at a major international investment bank in relation to a FCA interview and investigation.